CH 10
CH 10
CH 10
1. Introduction
Models for scattering of electromagnetic waves from random rough surfaces have been
developed during the last two centuries and the scientific interest in the problem remains
strong also today due to the importance of this phenomenon in diverse areas of science, such
as measurements in optics, geophysics, communications and remote sensing of the Earth.
Such models can be categorised into empirical models, analytical models and a combination
of the two. Though very simple, empirical models are greatly dependent on the
experimental conditions. In spite of their complexity, only theoretical models can yield a
significant understanding of the interaction between the electromagnetic waves and the
Earths surface, although an exact solution of equations governing this interaction may not
always be available and approximate methods have to be used. The semi-empirical models,
which are based on both physical considerations and experimental observations, can be set
between these two kinds of models and can be easily inverted. In this survey, we will focus
on the analytical models and we study more in detail the Kirchhoff Approximation (KA), the
Small Perturbation Method (SPM) and the Integral Equation Method (IEM). The Kirchhoff
Approximation and the Small Perturbation Methods represent early approaches to
scattering which are still much used, whereas the Integral Equation Method represents a
newer approach which has a larger domain of validity. These methods have been found to
be the most common in the literature and many of the other methods are based or have
much in common with these approaches. In section 2, we begin by giving a brief
presentation of the scattering problem and introduce some concepts and results from the
theory of electromagnetic fields which are often used in this context. We will also define the
bistatic scattering coefficient, due to the importance of this type of measurement in many
remote sensing applications, and in particular in the retrieval of soil moisture content. In
section 3, we give a brief presentation on the Kirchhoff Approximation and its close
variants, the Physical Optics (PO) and the Geometrical Optics (GO). In section 4, we give a
brief presentation of the Small Perturbation Method and in section 5 we will present the
Integral Equation Model.
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Electromagnetic Waves
modelling scattering of electromagnetic waves from random rough surfaces. We will also
define the bistatic scattering coefficient due to the importance of this type of measurement in
many remote sensing applications.
2.1 The Maxwells equations and the wave equation
The basic laws of the electromagnetism are given by the Maxwells equations which, for
linear, homogeneous, isotropic, stationary and not dispersive media, can be written as
(Balanis, 1989):
B
t
(2.1.1)
D
+ Jc + J i
t
(2.1.2)
E =
H =
D =
(2.1.3)
B = 0
(2.1.4)
where E is the electric field vector, D is the electric flux density, H is the magnetic field
vector, B is the magnetic flux density, J is the conduction electric current density, Ji is the
impressed electric current density and is the electric charge density. Maxwells equations
together with the boundary conditions, give a complete description of the field vectors at
any points (including discontinuities) and at any time. In rough surface scattering, the
surface enters in the boundary conditions (see equations (2.2.1)-(2.2.4)), which have to be
also supplied at infinity.
If we consider time-harmonic variation of the electromagnetic field, the instantaneous field
vectors can be related to their complex forms. Thus the Maxwells equations can be written
in a much simpler form:
E = j H
(2.1.5)
H = ( + j ) E + Ji j c E + J i
(2.1.6)
E =
(2.1.7)
H = 0
(2.1.8)
(2.1.9)
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2 E + 2 c E = 0
(2.1.10)
(2.1.11)
where E0 is a constant complex vector which determines the polarisation characteristics and
the complex propagation vector, k , is defined as:
k = x kx + y ky + z kz
(2.1.12)
(2.1.13)
Equation (2.1.11) represents a plane wave and k is the propagation constant. Most analytical
methods for scattering from rough surfaces assume this kind of incident wave, which if
linearly polarised can be rewritten as:
Ei ( r ) = p E0 e jki r = p Ei
(2.1.14)
where k i = k i k , p is the unit polarisation vector and E0 is the amplitude. The associated
magnetic field is given by:
Hi ( r ) = k i E i ( r )
(2.1.15)
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Electromagnetic Waves
Across any surface interface, the electromagnetic field should satisfy continuity conditions
given by (Balanis, 1989):
n ( E E1 ) = 0
(2.2.1)
n ( H H1 ) = Js
(2.2.2)
n ( E 1E1 ) = s
(2.2.3)
n ( H 1H1 ) = 0
(2.2.4)
where n is the unit normal vector of the rough surface (pointing in the region 0). The
electric surface current density, Js, and the charge surface density, s, at the rough interface
are zero unless the scattering surface (or one of the media) is a perfect conductor.
Using the fact that the fields satisfy the Helmholtz wave equation (2.1.9), it can be shown
that in the region 0, the electromagnetic fields E and H, satisfy Huygens principle and the
radiation boundary condition at infinity and E is given by (Ulaby et al, 1982; Tsang et al,
2000):
E ( r ) = Ei ( r ) +
j G ( r , r ) n H ( r ) G ( r , r ) n E ( r ) ds
S1
(2.2.5)
where G is the dyadic Green function (to the vector Helmholtz equation) which is
represented by:
G ( r , r ) = I + 2 g ( r , r )
k
(2.2.6)
Here I is the unit dyadic and g ( r , r ) is the Green function that satisfies the scalar wave
equation. It assumes the following expression:
jk r r
g ( r , r ) =
e
4 r r
(2.2.7)
In (2.2.5) the first term on the right-hand side represents the field generated by a current
source in an unbounded medium with permittivity and permeability and corresponds to
the incident field. Hence, the electromagnetic field in the region 0 is expressed as the sum of
two contributions: one is given by the incident field Ei ( r ) ; the other contribution is given by
the surface integrals that involve the tangential components Et and Ht of the fields at the
boundary S1 (note that n E = n Et and n H = n Ht ) and represents the scattered field
due to the presence of surface.
The equation (2.2.5) constitutes the mathematical basis of Huygens principle in vector form.
According to this principle, the electromagnetic field in a source-free region ( J = 0 ) is
uniquely determined once its tangential components are assigned on the boundary of the
region. However, since in the region 0, the existence of the impressed current J has been
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assumed, the total electric field can be expressed as the sum of two terms, the incident and
scattering ones:
E ( r ) = Ei ( r ) + Es ( r )
(2.2.8)
j G ( r , r ) n H ( r ) G ( r , r ) n E ( r ) ds
S1
(2.2.9)
If the observation point is in the far field region, the Green function in (2.2.9) can be
simplified and the scattering field can be written as (Ulaby et al,1982; Tsang et al, 2000):
Es ( r ) = Kr ( n E ( r ) ) r ( n H ( r ) ) e j kr ds
(2.2.10)
S1
where K = jke jkr 4r and r is the unit vector pointing in the direction of observation.
The tangential surface fields n E and n H can be also expressed as (Poggio & Miller, 1973):
n E = 2 n Ei -
n H = 2 n Hi +
and
n Et =
n Ht =
2
n e ds
4p
2
n ds
4
2
n t et ds
4
2
n t t ds
4
(2.2.11)
(2.2.12)
(2.2.13)
(2.2.14)
where
e = jk ( n H ) G1 ( n E ) G1 ( n E ) G1
=
jk
( n E) G1 ( n H ) G1 ( n H ) G1
et = jk2 2 ( n H ) G2 ( n E ) G2 ( n E ) G2 ( 1 r )
jk
t = 2 ( n E ) G2 ( n H ) G2 ( n H ) G2 ( 1 r )
2
(2.2.15)
(2.2.16)
(2.2.17)
(2.2.18)
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separating interface; G1 and G2 are the Greens functions in medium above and below the
interface, respectively, and r = 2 1 , r = 2 1 , 2 = 2 2 and k2 = 2 2 .
2.3 The nature of surface scattering
When an electromagnetic wave impinges the surface boundary between two semi-infinitive
media, the scattering process takes place only at the surface boundary if the two media can
be assumed homogeneous. Under such supposition, the problem at issue is indicated as
surface scattering problem. On the other hand, if the lower medium is inhomogeneous or is a
mixture of materials of different dielectric properties, then a portion of the transmitted wave
scattered backward by the inhomogeneities may cross the boundary surface into the upper
medium. In this case scattering takes place within the volume of the lower medium and it is
referred to as volume scattering. In most cases both the scattering processes are involved,
although only one of them can be dominant. In the case of bare soil, which will be assumed
to be a homogeneous body, surface scattering is the only process taken into consideration.
When the surface boundary separating the two semi-infinitive media is perfectly smooth the
reflection is in the specular direction and is described by the Fresnel reflection laws. On the
other hand, when the surface boundary becomes rough, the incident wave is partly reflected in
the specular direction and partly scattered in all directions. Qualitatively, the relationship
between surface roughness and surface scattering can be illustrated through the example
shown in Figure 2.3.1. For the specular surface, the angular radiation pattern of the reflected
wave is a delta function centred about the specular direction as shown in Figure 2.3.1 (a). For
the slightly rough surface (Figure 2.3.1 (b)), the angular radiation pattern consists of two
components: a reflected component and a scattered component. The reflected component is
again in the specular direction, but the magnitude of its power is smaller than that for smooth
surface. This specular component is often referred to as the coherent scattering component. The
scattered component, also known as the diffuse or incoherent component, consists of power
scattered in all directions, but its magnitude is smaller than that of the coherent component. As
the surface becomes rougher, the coherent component becomes negligible.
Note that the specular component represents also the mean scattered field (in statistical
sense), whereas the diffuse component has a stochastic behaviour, associated to the
randomness of the surface roughness.
(a)
(b)
i s
(c)
Fig. 2.3.1. Relative contributions of coherent and diffuse scattering components for different
surface-roughness conditions: (a) specular, (b) slightly rough, (c) very rough.
2.3.1 Characterisation of soil roughness
A rough surface can be described by a height function = z ( x , y ) . There are basically two
categories of methods which are being used to measure surface roughness. The roughness
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can be carried out by means of various experimental approaches able to reproduce the
surface profile by using contact or laser probes, or it can be estimated using some theory
which relates scattering measurements to surface roughness. In general, the study of
scattering in remote sensing is performed by using random rough surface models, where the
elevation of surface, with respect to some mean surface, is assumed to be an ergodic1, and
hence stationary2, random process with a Gaussian height distribution.
Accordingly, the degree of roughness, or simply the roughness, of a random surface is
characterised in terms of statistical parameters that are measured in units of wavelength. For
this reason, a given surface that may appear very rough to an optical wave, may appear
very smooth to a microwave.
The two fundamental parameters commonly used are the standard deviation of the surface
height variation (or rms height) and the surface correlation length. Such parameters describe
the statistical variation of the random component of surface height relative to a reference
surface, that may be the unperturbed surface of a period pattern, as in the case of a rowtilled soil surface (Figure 2.3.1.1. (a)), or may be the mean plane surface if only random
variations exist (Figure 2.3.1.1 (b)).
Random Surface Component
(a)
(b)
Fig. 2.3.1.1. Two configurations of height variations: (a) random height variations
superimposed to a periodic surface; (b) random variations superimposed to a flat surface.
Let z ( x ) be a representative realisation of the ergodic and stationary process that describes
a generic rough surface in a one-dimensional case. The mean value, which throughout this
chapter will be denoted by angular brackets ... , is equal to the spatial average over a
statistically representative segment of the surface, of dimensions Lx, centred at the origin:
z=
1
Lx
Lx 2
z ( x ) dx = z ( x )
(2.3.1.1)
As it can be noted from the above definition, for a stationary surface the average does not
depend on x. The second moment is:
z2 =
1
Lx
Lx 2
x
z 2 ( x ) dx = z2 ( x )
(2.3.1.2)
1 A process is ergodic when one realisation is representative of all the process, i.e. the statistical averages
over an extracted random variable may be replaced by spatial averages over a single realisation.
2 The stationarity implies that all the statistically properties of a random process are invariant under the
translation of spatial coordinates.
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Using the above expressions, the standard deviation of the surface height, , is therefore
defined as:
= z2 z
()
2 12
= z ( x ) z
2 12
(2.3.1.3)
Such quantities characterise the dispersion of the surface height relative to the reference
plane. Taking into account the stationary properties of the process and considering its mean
value null, the variance, 2 , is coincident with the second moment and does not depend on
x. The autocorrelation function of the height random process z ( x ) is given by:
Rz ( ) =
1
Lx
Lx 2
z ( x ) z ( x + ) dx = z ( x ) z ( x + )
(2.3.1.4)
The normalised autocorrelation function (ACF), better known as the correlation coefficient,
assumes for a process with zero mean value the following expression:
Lx 2
( ) =
z ( x ) z ( x + ) dx
2
Lx 2
x
z ( x ) dx
Rz ( )
Rz ( 0 )
Rz ( )
(2.3.1.5)
It is a measure of the similarity between the height z at point x and at point distant from x.
It has the following properties:
( ) ( 0 ) = 1 ;
lim ( ) = 0 .
The spectral density or power spectrum is defined, for an ergodic random process, as the
Fourier transform of the autocorrelation function Rz ( x ) :
( k ) = R ( x ) e jkx x dx
W
x
z
(2.3.1.6)
( x ) e jkx x dx
(2.3.1.7)
The Gaussian distribution plays a central role in modelling scattering from random rough
surfaces because it is encountered under a great number of different conditions and because
Gaussian variates have the unique property that the random process is entirely determined
by the height probability distribution and autocorrelation. All higher order correlations can
be expressed in terms of the (second order) autocorrelation function, which simplifies
modelling the surface scattering process. A simple and often used form for the
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autocorrelation is the Gaussian function but other forms have also been studied (Saillard &
Sentenac, 2001).
The roughness spectrum at the nth power of the autocorrelation function, W ( ) , which
often enters into closed form solutions of the scattering problem, is given by the Fourier
transform:
n
n
W ( ) ( kx ) = n ( x ) e jkx x dx
(2.3.1.8)
( x ) = exp
(2.3.1.9)
where l is the correlation length. Such surface parameter is defined as the displacement x for
which ( x ) is equal to 1 e
(l) = 1 e
(2.3.1.10)
The correlation length of a surface provides a reference for estimating the statistical
independence of two points on the surface; if the two points are separated by a horizontal
distance greater than l, then their heights may be considered to be (approximately)
statistically independent of one another. In the extreme case of a perfectly smooth (specular)
surface, every point on the surface is correlated with every other point with a correlation
coefficient of unity. Hence, l = in this case.
Referring to equation (2.3.1.9), the nth power roughness spectrum is equal to:
W ( n ) ( kx ) n ( x )e jkx x dx =l
kx 2 l 2
4n
(2.3.1.11)
Beside the height random function z ( x ) , the slope function is another important
characterisation of the rough surface. It is defined as:
Zx = lim
x 0
z ( x + x ) z ( x )
(2.3.1.12)
Considering the stationary random process z ( x ) as normally distributed with zero mean
and variance 2 , being Zx the first derivative, its distribution is again normal with zero
mean and variance related to the second derivative of the autocorrelation function of z ( x )
at the origin (Beckman & Spizzichino, 1963):
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s2 = Zx2 = 2 ( 0 )
(2.3.1.13)
m = 2 ( 0 )
1 2
(2.3.1.14)
When the normalised autocorrelation function is Gaussian (equation (2.3.1.9)), the rms slope
is equal to:
m= 2
(2.3.1.15)
qo, p
(i ,i ,s ,s ) =
4R 2 Eps
A0 Eqi
(2.4.1)
where the ensemble average must be considered in case the scattered field is the fluctuating
zero mean component (i.e., the diffuse or incoherent component mentioned before)
generated by a natural target or random rough surface. Such equation shows qo, p as the
ratio of the total power scattered by an equivalent isotropic scatterer in direction ( s ,s ) to
the product of the incident power density in direction ( i ,i ) and the illuminated area.
The backscattering coefficient qo, p ( i ) is a special case of qo, p ( i ,i , s ,s ) ; it is defined for
s = i and s = i (Figure 2.4.1), which corresponds to the incident and scattered
direction being the same except for a reversal in sense.
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) (
)}
(3.1.1)
where
k s = kk s = k ( sin s cos s x + sin s sin s y + coss z ) = ksx x + ksy y + ksz z
(3.1.2)
What needs to be calculated are the tangential surface fields in equation (3.1.1). In equations
(2.2.11) - (2.2.12) and (2.2.15) - (2.2.16) we presented integral equations for the tangential
surface fields in the medium above the scattering dielectric surface. It should be noted that
these expressions are exact. However, they cannot in general be solved analytically and
therefore approximations have to be introduced. Below we will show that by introducing an
approximation called the tangent plane approximation (or the Kirchhoff approximation), closed
analytical solutions can be obtained to the scattering problem.
3.2 The tangent plane approximation and the Kirchhoff fields
In the Kirchhoff approach, the total fields at any point of the surface (i.e., the incident plus
the scattered one, to be considered inside the integral (3.1.1)) are approximated by the fields
that would be present on an infinitely extended tangent plane at that particular point on the
surface. The reflection is therefore considered to be locally specular. It is due to this fact that
the Kirchhoff approximation is also referred to as the tangent plane approximation. The
Kirchhoff approach requires to be valid that every point on the surface has a large radius of
curvature relative to the wavelength of the incident field.
Thus, under the tangent-plane approximation, the total field at a point on the surface is
assumed equal to the incident field plus the field reflected by an infinite plane tangent to the
point. Hence, the tangential surface fields are (Ulaby et al, 1982):
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Electromagnetic Waves
n E = ( n E ) k = n Ei + Er
n H = ( n H ) k = n Hi + Hr
(3.2.1)
(3.2.2)
( ) ( n t ) ( 1 Rv ) ( n k i ) ( p d ) t E0 e jk k r
( n H ) = ( 1 Rh ) n k i
) ( p t ) t + ( 1 + R ) ( p d ) ( n t ) E e
0
jk k i r
(3.2.3)
(3.2.4)
where the unit vectors t , d , k i define the local reference coordinate system (see (Fung,
1994)) and n is the unit normal vector to the interface in the above medium. Rv and Rh are
the Fresnel reflection coefficients for vertical and horizontal polarisation respectively.
Upon substituting (3.2.3) and (3.2.4) in (3.1.1), the scattered field is:
j k k r
s
Eqp
= K q k s n E p + n H p e ( s i ) ds
) (
)}
(3.2.5)
where the phase factor, exp jkk i r , of the incident wave has been pointed out from the
equations (3.2.3) and (3.2.4). Such equation represents the scattered field formulated under
the tangent-plane, or Kirchhoff approximation. As it stands the expression is a complicated
function of the surface function and its partial derivatives. No analytic solution has been
obtained from (3.2.5) without additional simplifying assumptions. Here we will show the
results presented in (Ulaby et al, 1982): for surface with large (with respect to wavelength)
standard deviation of surface heights, for which the stationary-phase approximation
(Geometric Optics, GO) will be used, and for surfaces with small slopes and a medium or
small standard deviation of surface heights, for which a scalar approximation (Physical
Optics, PO) will be used.
3.2.1 The scattered field under the stationary-phase approximation (Geometric Optic,
GO)
Under the stationary-phase approximation the local tangent plane on a surface point can be
considered infinitely wide and, as consequence, the angular re-irradiation pattern
originating from that specific point can be represented by a delta function centred in the
specular direction. This means that scattering can occur only along directions for which
there are specular points on the surface. Hence local diffraction effects are excluded. The
approximating relations are obtained from the phase Q of (3.2.5), that is:
Q = k k s k i r q r = qx x + q y y + q z z
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(3.2.1.1)
215
where
k s = x sin s cos s + y sin s sin s + z cos s
(3.2.1.2)
(3.2.1.3)
(3.2.1.4)
(3.2.1.5)
q z = k ( cos s + cos i )
(3.2.1.6)
The phase Q is said to be stationary at a point if its rate of change is zero at the point, that is:
z
Q
= 0 = qx + q z
x
x
z
Q
= 0 = qy + qz
y
y
Hence, the partial derivatives of the surface slopes can be replaced by the components of the
phase as:
Zx =
z
q
= x
x
qz
(3.2.1.7)
Zy =
qy
z
=
qz
y
(3.2.1.8)
Zx x Zy y + z
1 + Zx2 + Zy2
(3.1.1.9)
the use of (3.2.1.7) and (3.2.1.8) makes n E and n H independent on the integration
variables. Thus, the expression for Es can be rewritten as:
Es = K k s ( n E ) k s ( n H ) I 1
(3.2.1.10)
where
I1 = e
jk k s k i r
ds
(3.2.1.11)
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Electromagnetic Waves
s
Eqp
= q Es K I 1E0Uqp
(3.2.1.12)
where
U qp =
1
q k s ( n E ) k s ( n H )
E0
(3.2.1.13)
To compute the scattering coefficient, defined in (2.4.1), for different polarisation states, it is
2
I1
= e
jk k s k i ( r r )
dsds
(3.2.1.14)
By assuming the surface roughness as a stationary and isotropic Gaussian random process,
with zero mean, variance 2 , and correlation coefficient , and in the assumption that the
( qz )2
I1
q x2 + q y2
2 A0 q 2
exp
4 2
2 2
q z ( 0 )
2 q z ( 0 )
(3.2.1.15)
I1
(3.2.1.16)
Substituting (3.2.1.16) in the definition of the scattering coefficient given by equation (2.4.1),
it assumes the following expression:
o
qp
kq U 2
qp
q x2 + q y2
exp
= 4 2
2 2
2q z ( 0 )
2 q z ( 0 )
(3.2.1.17)
o
, the effects of shadowing and multiple scattering have been ignored.
In the derivation of qp
It is important to underline that (3.2.1.17) is valid only for surface with sufficiently large
standard deviation of surface heights. Under such assumption, that is
( qz )2
large, the
tangential fields is needed to permit small ( q z ) . This is discussed in the next section.
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3.2.2 The scattered field under the scalar approximation (Physical Optics, PO)
A different Kirchhoff approach is the Physical Optics solution to (3.1.1). The Physical Optics
approach involves the integration of the Kirchhoff scattered field over the entire rough
surface, not just the portions of surface which contribute specularly to the scattered
direction. Unlike the Geometric Optics solution, the Physical Optics solution predicts a
coherent component.
The power in the incoherent reflected field can be found by expanding the Stratton-Chu
equation in a Taylor series in surface slope distribution. In (Ulaby et al, 1982) the Physical
Optics solution is called scalar approximation because slopes are ignored in the surface
coordinate system, leading to a decoupling of polarisation in the vector scattering equations.
Accordingly, the basic scattered-field expression can be rewritten in the form:
s
= KE0 U qp exp jk k s k i r ds
Eqp
s s
where U qp are given in (Ulaby et al, 1982). To find Eqp
Eqp
computation, the following integral needs to be computed:
(3.2.2.1)
for the scattering-coefficient
I = U qp U qp exp jk k s k i ( r r ) dsds
(3.2.2.2)
Since all U qp are expressed in a Taylor series in surface slope distribution, Zx and Zy:
U qp = a0 + a1Zx + a2 Zy
(3.2.2.3)
U qp U qp a0 a0 + a0 a1Zx + a0 a1Zx + a0 a2 Zy + a0 a2 Zy
(3.2.2.4)
Since ( q z ) is no longer required to be large and assuming the size of the illuminated area
equal to 2 L 2L , the ensemble average of the first term in (3.2.2.4) can be expressed as (for
more details see (Ulaby et al, 1982))
2
I 0 = a0 e qz
n=0
2 n
(q )
2
z
n!
2L 2L
2L
2L
n ( 2L u )( 2 L v ) e
jqx u + jq y v
dudv
(3.2.2.5)
where the n = 0 term corresponds to coherent scattering. It can be shown that this coherentscattering coefficient can be expressed as:
2
( )
o c
qp
= k 2 a0 ( qx ) q y e q z
(3.2.2.6)
which shows that coherent scattering is important only when qz is small. The rest of the
series in (3.2.2.5) represents incoherent scattering. The integral I0 for n 1 can be rewritten
2
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Electromagnetic Waves
2 q z2 2
I 0 = a0 e
A0
2 n
(q )
2
z
n!
n=1
n e
jqx u + jq y v
dudv
(3.2.2.7)
For an isotropically rough surface with correlation length l and Gaussian normalised
autocorrelation function, = exp 2 l 2 , the integral (3.2.2.7) can be shown to be:
n 2 l 2 + jqx u + jq y v
dudv =
l 2
n
(q
2
2
x + qy
)l
4n
(3.1.2.8)
It is clear that different solutions may be obtained for the integral if the normalised surface
autocorrelation function is assumed to take some other functional forms. Upon substituting
s s
Eqp , the scattering coefficient for the incoherent
(3.2.2.7) and (3.2.2.8) into the factor Eqp
part of the a0
o inc
qp
2 q 2 2
z
= ( a0 kl 2 ) e
2 n
(q )
2
z
n!n
n=1
(q
2
x
+ q y2 l 2
4n
(3.2.2.9)
o inc
If the normalised surface autocorrelation is not known, qp
can be written as:
o inc
qp
k 2 a0
q z2 2
2 n
(q )
n=1
2
z
n!
ne
jqx u + jq y v
dudv
(3.2.2.10)
An additional contribution to the total scattering coefficient comes from the slope terms in
s s
Eqp
the
(3.2.2.4). It can be computed taking into account in the ensemble average Eqp
integrals of the slope terms in the x- and y-direction. The results of such integrals for a
Gaussian normalised autocorrelation function are reported in (Ulaby et al, 1982). Also the
expressions of the polarisation-dependent coefficients ai can be found in the same reference.
However, the expressions of the coefficient a0 for each polarisation are reported below for
the two particular cases of backscattering and scattering in the specular direction.
In the backscattering:
HH polarisation:
a0 = 2 Rh ( i ) cosi
VH polarisation:
a0 = 0
VV polarisation:
a0 = 2 Rv ( i ) cos i
HV polarisation:
a0 = 0
a0 = 0
VV polarisation:
a0 = 2 Rv ( i ) cosi
HV polarisation:
a0 = 0
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kl > 6
<
(3.3.1)
l2
2.76
(3.3.2)
where k is the wave number and is the electromagnetic wavelength. Note that the surface
standard deviation should be small relative to the correlation length, but it can be
comparable to or even larger than the electromagnetic wavelength. This means that large
standard deviations can be tolerated if the correlation length is large enough to preserve an
acceptable average radius of curvature. The conditions reported above are for the Kirchhoff
approximation. The scattering models described in section 3.2.1 and 3.2.2 require additional
approximations reported in the following table:
and
kl > 6
Scalar Approximation (PO)
k < 1 and rmsslope < 0.25
Table 3.3.1. Validity of GO and PO for stationary isotropic Gaussian surfaces with standard
deviation and correlation length l.
3.4 Some concluding remarks on the Kirchhoff method
As was mentioned in the previous paragraph, the Kirchhoff method does neither in itself
account for shadowing and nor does it (in the form described here) account for multiple
scattering on the surface. Due to the lack of these two effects energy conservation is not
satisfied. However, in (Ulaby et al, 1982) this conservation is demonstrating with the
inclusion of these two effects.
In the literature, the surface height distribution is in most cases assumed to be Gaussian. The
reason for this is, as mentioned previously, that the surface roughness rms height and the
autocorrelation function entirely determine the random process, and therefore the bistatic
scattering coefficient can be expressed in terms of these two quantities.
The Kirchhoff method has been applied to surfaces described by fractal geometry. As an
example we can mention that in (Franceschetti et al, 1999) a fractional Brownian motion model
was used for modelling the scattering from natural rough surface. In combination with the
Kirchhoff method an analytical solution for the bistatic scattering coefficient was obtained.
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Electromagnetic Waves
o
qp
= 8 k 2 cos i cos s qp W kx + k sin i , ky
(4.1.1)
where
kx = k sin s cos s
ky = k sin s sin s
W kx , k y =
1
2
jk u jk v
dudv
( u, v ) e
and ( u , v ) are, respectively, the variance of surface heights and the surface correlation
coefficient; qp are coefficients that depend on polarisation, incidence and scattering angle,
and on complex relative dielectric constant c of the homogeneous medium below the
interface. The detailed expressions of qp are reported in (Ulaby et al, 1982).
4.2 Some remarks on the region of validity of the SPM
The Small Perturbation Method is applied to surfaces with a surface height standard
deviation much less than the incident wavelength (5 percent or less) and an average surface
slope comparable to or less than the surface standard deviation times the wave number. For
a surface with Gaussian correlation function, such two conditions can be expressed
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221
analytically as follows, but they should be viewed only as a guideline for applying the SPM
scattering model:
k < 0.3
2 l < 0.3
The SPM has been compared to more accurate numerical simulations in (Thorsos & Jackson,
1989; 1991) for one-dimensional rough surfaces with a Gaussian roughness spectrum. Under
these conditions the authors show that the first-order SPM gives accurate results for k << 1
and kl 1 . The results also show that for k << 1 and kl > 6, the sum of the first three orders
of the SPM is required to obtain accurate results.
It has been argued that the SPM does account for multiple scattering up to the order of the
perturbative expansion. This means that the first order perturbative solution does not
account for multiple scattering but that some multiple scattering effects can be observed in
the higher order solutions.
and
Table 4.2.1. Validity of SPM for stationary isotropic Gaussian surfaces with standard
deviation and root mean square slope rmsslope.
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Electromagnetic Waves
n E = ( n E ) k + ( n E )c
(5.1.1)
n H = ( n H ) k + ( n H )c
(5.1.2)
In these equations, the first terms on the right hand side are the tangential fields under
Kirchhoff approximation and the complementary fields are given by:
( n E ) c = n ( Ei Er )
( n H ) c = n ( Hi Hr ) +
2
n eds
4
(5.1.3)
2
n ds
4
(5.1.4)
Er and Hr being the reflected electric and magnetic fields propagating along the reflected
direction. To use (5.1.1) and (5.1.2) for estimating the tangential field, both the Kirchhoff
field and the complementary field need to be expressed in terms of the incident field
components and the surface reflectivity properties. Using the local coordinate system
defined by the unit vectors t , d , k (for their expressions refer to (Fung, 1994)), the
i
incident electric and magnetic field can be expressed into locally horizontally and vertically
polarised components. Accordingly, after some manipulations (see (Fung, 1994) for more
details), the Kirchhoff and complementary tangential fields can be rewritten as:
( n E )k = n ( 1 + Rh ) ( p t ) t + ( 1 Rv ) ( p d ) d Ei
(5.1.5)
( n H ) k = n ( 1 Rh ) ( p t ) d + ( 1 + Rv ) p d t Ei
(5.1.6)
1
n t n t n ( 1 + Rh ) e + ( 1 Rh ) et ds
4
1
t t n ( 1 Rv ) e + ( 1 + Rv ) et ds
4
( n E ) c =
){
1
n t n t n ( 1 + Rv ) + ( 1 Rv ) t ds
4
1
+
t t n ( 1 Rh ) + ( 1 + Rh ) t ds
4
( n H ) c =
){
(5.1.7)
(5.1.8)
It can be noted that, while (5.1.5) and (5.1.6) are expressed in terms of known quantities, that
is the incident electric or magnetic fields, the local Fresnel reflection coefficient and the local
incident angle, (5.1.7) and (5.1.8) are integral equations. In order to obtain estimates of (5.1.7)
and (5.1.8), IEM substitutes the unknown expressions of the tangential fields in the righthand side of (5.1.7) and (5.1.8), that is the ( n E ) and ( n H ) terms which appear in e ,
et , and t , with the Kirchhoff tangential fields, ( n E ) k and ( n H ) k , respectively.
This is the fundamental approximation adopted by IEM model. However, even with this
simplification the obtained integral expressions remain too complex for practical use.
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223
where
(5.1.9)
j k k r
k
Eqp
= CE0 f qp e ( s i ) dxdy
and
c
=
Eqp
(5.1.10)
CE
C jk s r
ju x x + jv y y ) + jk s r jk i r
F e
dxdy = 20 Fqp e ( ) (
dxdydudvdxdy
2 qp
8
8
(5.1.11)
The quantities fqp and Fqp , respectively the Kirchhoff and complementary field coefficients,
that appear in the above equations are defined as follows:
f qp = q k s n E p
)k + q ( n Hp )k D1
Fqp = 8 2 q k s n E p
Ei
(5.1.12)
)c + q ( n Hp )c D1
(5.1.13)
where D1 = 1 + Zx2 + Zy2 and Ei is the complex amplitude of the incident electric field.
In general, both fqp and Fqp are dimensionless, complicated expressions and depended on
spatial variables. Therefore several approximations are made to make these functions
independent of spatial variables (Fung, 1994).
In particular, the fqp coefficients depend on the Fresnel reflection coefficients, and hence on
the local angle, and on the slope terms, Zx and Zy. The first dependency is removed by
approximating the local incidence angle in the Fresnel reflection coefficients by the incident
angle, i, for surface with small scale roughness and by the specular angle, sp, cos = n k ,
sp
for surface with large scale roughness. The rule that defines the bound between the two
regions is reported here assuming a Gaussian autocorrelation function:
Rv , h ( i ) k 2 l < 1.2 r
Rv , h =
kl > 5
Rv , h ( spec )
(5.1.14)
In order to remove the dependence on the slope terms, the integral (5.1.10) is solved by parts
and the edge terms were discarded.
To obtain the expressions of the complementary coefficients Fqp , the computation is rather
lengthy and complicated. When the equations (2.2.15) - (2.2.18) are substituted in the
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Electromagnetic Waves
1 j ju( x x ) + jv ( y y ) jq z z
e
dudv
2 q
G =
(5.1.15)
1 g ju( x x ) + jv( y y ) jq z z
e
dudv
2 q
(5.1.16)
s
Eqp
s s *
s
= Eqp
Eqp Eqp
s
Eqp
k k *
k
= Eqp
Eqp Eqp
k
Eqp
c k *
c
Eqp Eqp
+ 2 Re Eqp
=
+
k *
c c *
c
Eqp
+ Eqp Eqp Eqp
(5.1.17)
c
Eqp
(5.1.18)
From the above expression it follows that the scattering coefficient is given by the sum of
three terms: the Kirchhoff, the complementary and the cross term. The first is originated by
Kirchhoff fields, the second by the interaction between Kirchhoff and complementary fields,
whereas the last is due only to complementary fields.
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To carry out the average operation an assumption about the type of surface height
distribution is necessary. In order to simplify the calculation of the incoherent power terms
the rough surface is assumed characterised by a Gaussian height distribution. Accordingly,
the terms in (5.1.18) assume the following expressions, reported in (Fung, 1994):
k
qp
=
2 2 k + k 2
k2
f qp e ( sz z )
4
(5.1.19)
2 ( k + k )2 ( , ) 1 exp j ( k k ) + j k k d d
exp
sz
z
sx
x
sy
y
kc
qp
=
k2
Re
16 3
{ (F
qp f qp
) exp ( k
exp
2
sz
+ kz2 + kz ksz
c
qp
=
k
16
2.5
{ (F
qp Fqp
) exp ( k
2
2
sz
(5.1.20)
+ kz2
2
( , )
exp 2 kz ksz ( + , + ) exp 2 ksz
} )
exp j ( u u ) + ( v v ) d d d d d d du dv du dv
The above expressions consist of multiple integrals which are too complex and hence not
practical to use. In order to evaluate these integrals, the model is approximated in two
different forms depending upon whether the surface height is moderate or large in terms of
the incident wavelength (k). The first case is referred to as low frequency approximation,
whilst the other is referred to as high frequency approximation. An indicative threshold
k
kc
c
value of k < 2 is reported in (Fung, 1994). The detailed expressions of qp
, qp
, qp
valid
separately when k < 2 and for large k are given in (Fung, 1994) and are not reported here.
For both the approximations, in the expression of the bistatic scattering coefficient two types
of terms can be distinguished: one representing single-scattering and the other representing
multiple-scattering. The latter may be viewed as a correction to the single term for both the
high- and the low-frequency regions. This division is important to identify weather single or
multiple scattering is significant for applications. For completeness we report here the total
single scattering coefficient obtained by selecting the single scattering contributions in the
k
kc
c
, qp
, qp
valid when k < 2 (for the detailed explanation refer to (Fung,
expressions of qp
1994)):
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Electromagnetic Waves
( ksz )n Fqp ( kx , ky ) + ( kz )n Fqp ( ksx , ksy )
2
k 2 2 ( kz2 + ksz2 ) 2 n
( k z + ksz )n f qp e kz ksz +
e
W ( n ) ( ksx kx , ksy ky )
2
2
n =1 n !
2
oqp =
(5.1.22)
6. Conclusions
We have presented the results from a literature search of models for scattering of
electromagnetic waves from random rough surfaces. In particular we have focused on the
calculation of the bistatic scattering coefficient in three different classes of methods: the
Kirchhoff Approximation, the Method of Small Perturbation and the Integral Equation Method. Of
these, the first two, are amongst the early approaches which however are still much used.
The latter is an example of more recent approaches which have been developed as an
attempt to extend the validity of the former methods.
7. References
Balanis C. A. (1989). Advanced Engineering Electromagnetism, John Wiley and Sons Inc.
Beckman P., Spizzichino A. (1963). The Scattering of Electromagnetic Waves from Rough
Surfaces, Pergamon press, Oxford [etc.].
Brogioni M., Macelloni G., Paloscia S., Pampaloni P., Pettinato S., Pierdicca N, Ticconi F.
(2010). Sensitivity of Bistatic Scattering to Soil Moisture and Surface Roughness of
Bare Soils, International Journal of Remote Sensing, vol. 31, no. 15, pp. 4227-4255.
Chen K.S., Wu T.D., Tsay M.K., Fung A.K. (2000). A Note on the Multiple Scattering in an
IEM Model, IEEE Transactions on Geoscience and Remote Sensing, vol. 38, no. 1, pp.
249-256.
Franceschetti G., Iodice A., Migliaccio M., Riccio D. (1999), Scattering from Natural Rough
Surfaces Modeled by Fractional Brownian Motion Two Dimensional Processes,
Proc. SPIE, Remote Sensing of the Ocean and Sea Ice, vol. 4172, pp. 169-176.
Fung A. K. (1994). Microwave Scattering and Emission Models and Their Application, Boston,
MA, Arthech House.
Poggio A. J., Miller E. K. (1973). Integral Equation solution of Three Dimensional Scattering
Problems, Computed Techniques for Electromagnetics, Pergamon, New York.
Saillard M., Sentenac A. (2001). Rigorous Solutions for Electromagnetic Scattering from
Rough Surfaces, Waves in Random Media, vol. 11, pp. 103-137.
Tsang L., Kong J. A., Ding K.-H. (2000). Electromagnetic Waves, theories and applications, Jon
Wiley and Sons, New York.
Tsang L., Kong J. A. (2001). Scattering of Electromagnetic Waves, Advanced Topics, Jon Wiley
and Sons, New York.
Thorsos E. I., Jackson D. (1989). The Validity of the Perturbation Approximation for Rough
Surface Scattering using a Gaussian Roughness Spectrum, Journal Acoust. Soc. Am.,
vol. 86 (1), pp. 261-277.
Thorsos E. I., Jackson D. (1991). Studies of Scattering Theory using Numerical Methods,
Waves in Random Media, vol. 3, pp. 165-190.
Ulaby F. T., Moore R. K., Fung A. K. (1982). Microwave remote sensing: active and passive,
Addison-Wesley Publishing Company, London [etc.].
Wu T-D., Chen K. S., Shi J., Fung A. K. (2001). A Transition Model for the Reflection
Coefficient in Surface Scattering, IEEE Transactions on Geoscience and Remote
Sensing, vol. 39, no. 9, pp. 2040-2050.
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Electromagnetic Waves
ISBN 978-953-307-304-0
Hard cover, 510 pages
Publisher InTech
How to reference
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F. Ticconi, L. Pulvirenti and N. Pierdicca (2011). Models for Scattering from Rough Surfaces, Electromagnetic
Waves, Prof. Vitaliy Zhurbenko (Ed.), ISBN: 978-953-307-304-0, InTech, Available from:
http://www.intechopen.com/books/electromagnetic-waves/models-for-scattering-from-rough-surfaces
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